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This document provides detailed instructions for applicants on completing the FINRA-specific hard card for fingerprint submission. It outlines the necessary information to be provided to law enforcement officials or firm administrators, including personal details, employer information, and guidelines on acceptable forms of identification and completion of the hard card.
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How to fill out finra fingerprint submission instructions

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How to fill out finra fingerprint submission instructions

01
Obtain the FINRA fingerprint card (Form FD-258) from your firm or download it from FINRA's website.
02
Fill out your personal information on the fingerprint card: name, date of birth, address, and Social Security number.
03
Select the appropriate box for the reason for submission, typically 'FINRA registration'.
04
Have your fingerprints taken by a qualified individual, such as a police officer or a certified professional.
05
Make sure the fingerprints are rolled and clear without smudges or distortions.
06
Check for any additional requirements specified by FINRA or your firm for the submission.
07
Mail the completed fingerprint card to the designated FINRA address along with any required fees or forms.

Who needs finra fingerprint submission instructions?

01
Individuals seeking to register or maintain registration with FINRA as a broker-dealer or investment adviser.
02
Employees of broker-dealers and other firms that are required by regulation to submit fingerprints for background checks.
03
Prospective associated persons coming into the securities industry.
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FINRA fingerprint submission instructions refer to the guidelines provided by the Financial Industry Regulatory Authority for individuals or firms to submit fingerprints for background checks as part of the membership application or ongoing compliance.
Individuals who are applying for registration with FINRA, such as brokers, associated persons, or anyone who has a role in a member firm that requires regulatory oversight are required to file FINRA fingerprint submission instructions.
To fill out FINRA fingerprint submission instructions, individuals must complete the appropriate forms, ensure accurate personal information is provided, and follow the submission process outlined by FINRA, which typically includes providing fingerprints through an authorized service provider.
The purpose of FINRA fingerprint submission instructions is to facilitate the collection of fingerprints for background checks to maintain the integrity of the financial industry and ensure that individuals in securities positions meet the required standards.
Information that must be reported includes personal identifying details such as name, Social Security number, date of birth, and the results of any background checks conducted using the submitted fingerprints.
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